DOLE CAPITAL, LLC
Private Placements / Investment Banking

QUALIFICATIONS OF PRINCIPAL


[Experience] [Credentials] [Affiliations]

RICHARD B. DOLE, ASA, CFA
CEO
Dole Capital, LLC
Member FINRA/SIPC
1188 Bishop Street, Suite 1901
Honolulu, Hawaii 96813
(808) 537-6007
rsdole@aol.com
www.dolecapital.com


EXPERIENCE

1998-Present  Dole Capital, LLC

Since September 1, 1998, chief executive officer of Dole Capital, LLC, a Financial Industry Regulatory Authority ("FINRA") member firm, registered with the Securities and Exchange Commission ("SEC") and the State of Hawaii. Dole Capital, LLC is a specialty investment-banking firm, whose activities consist of the private placement of securities to institutions, qualified corporations and accredited individuals, and mergers and acquisitions consulting. Financial advisory services also include business and securities valuation, including the appraisal of businesses and business interests for various purposes.

1988-Present  Kuroman Realty, Inc.

Since November 1, 1993, Vice President and Principal, and since August 31, 1996, chairman of the board and shareholder. Services include general business brokerage, and prior to the formation of Dole Capital, LLC, business valuation. Kuroman Realty is a 46-year-old business brokerage firm specializing in Hawaii businesses.

1995-1999  Hosoi Garden Mortuary, Inc.

Member of the Board of Directors

1993-Present  James D. Dole Trust

Co-Trustee

1994-1997  Fry & Co.

Director of Research. Provide investment research analysis on Hawaii based and West Coast companies with significant business interests in Hawaii, for purposes of identifying undervalued publicly traded investment opportunities for a select client base in Hawaii.

1991-1994  First Honolulu Securities, Inc.

Security Analyst. Provide investment research analysis on Hawaii based and West Coast companies with significant business interests in Hawaii, for purposes of identifying undervalued publicly traded investment opportunities for a select client base in Hawaii, California, Oregon, and New York.

1980-1993 Willamette Management Associates, Inc.

Hawaii Regional Manager. Manage client projects for Willamette Management Associates, a national business appraisal and financial consulting firm, for the valuation of both publicly traded and privately owned companies, securities, and other business interests

1982-1986  Christian Broadcasting Network, Inc.

Financial Planner. Offered financial planning services, particularly in the area of estate planning.

1974-1980  Bishop Trust Company, Ltd.

Second Vice President. Involved in investment portfolio management and analysis of Hawaii based securities.

1972-1974  Chartered Bank of London

Analyst and portfolio manager

1969-1972  First California Company

Security analyst



ACADEMIC AND PROFESSIONAL CREDENTIALS

B.S. Finance, University of Arizona

American Society of Appraisers (ASA),
Accredited Senior Appraiser, Business Valuation

Chartered Financial Analyst (CFA)

Hawaii Real Estate Broker License

NASD Series 7, General Securities Representative

NASD Series 63, Uniform State Securities Representative

NASD Series 4, Options Principal

NASD Series 24, General Securities Principal

NASD Series 28, Financial and Operational Principal for Introducing Broker-Dealer

MSRB Series 53, Municipal Securities Principal

Author of "The Story of James Dole",
Island Heritage Publishing, 1990

Qualified as an expert witness on business valuation issues in Family Court, State of Hawaii.

FINRA Dispute Resolution Arbitrator



PROFESSIONAL AFFILIATIONS

CFA Institute

Past Secretary, Treasurer and Board Member of CFA Hawai'i

Past Regional Governor for Hawaii and Pacific,
and Far Eastern Regions of the American Society of Appraisers

Past President of the Honolulu Chapter of the American Society of Appraisers

Past Hawaii District Director of the American Society of Appraisers

Member of the Hawaii Estate Planning Council

 







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